On June 10, 2022, IIROC hosted an information session about the key aspects of the public comment materials released by the Canadian Securities Administrators (CSA). The deadline to submit comments to the CSA on the materials is June 27, 2022.
This webcast covered:
- New SRO Interim Rules (Investment Dealer rules, Mutual Fund Dealer Interim Rules, UMIR)
- Recognition Order by the CSA
- Application for Recognition by the SRO;
- Memorandum of Understanding
- New SRO by-law
- New SRO Investor Advisory Panel Terms of Reference;
Irene Winel, IIROC’s Senior Vice-President, Member Regulation and Strategy, delivered opening remarks. Panelists included:
- Richard Corner, Vice-President and Chief Policy Advisor, Member Regulation
- Kathy Engle, Vice-President, Strategy
- Karen Green, Senior Corporate Counsel, General Counsel’s Office
- France Kingsbury, Regional Director, Regulation
- Suzanne Lasrado, Director, Member Regulation & Strategy
- Marina Ripoche, Vice-President, Registration
This webcast will be available on Thursday, June 23, 2022, at 7 a.m. Eastern Time.
Participants will receive 1.0 Compliance continuing education credits.
Please share this notice with your colleagues and encourage them to subscribe to receive IIROC Education Notices so they will be aware of the release of CE accredited webcasts and other events.
We also encourage you to visit our webcast catalogue for other CE opportunities.